Capital Markets
Capital markets firms carry demanding conduct expectations and a constant need to evidence proper oversight as work happens, not after the fact. My Compliance Centre brings conduct, conflicts, monitoring and governance together in one place.
Capital markets firms operate under demanding conduct expectations. Depending on the nature of the business – execution, advisory, corporate finance or derivatives – the specific obligations vary. However, the need to evidence proper oversight of employee conduct, conflicts and governance is consistent. That evidence needs to be immediate, not assembled after the fact.
What My Compliance Centre Addresses
Employee compliance
PA dealing approvals, conflicts of interest management, gifts and hospitality and attestations through automated workflows. Timestamped audit trail maintained automatically
Compliance monitoring
Your monitoring programme deployed on a platform that assigns ownership, tracks findings to resolution and produces management information your Board and senior management can rely on.
Your governance framework
For firms under the individual accountability regime or wanting best practice – meeting packs, minutes, actions and attendance recorded and evidenced. The audit trail builds automatically.
Register vault
60+ register templates – incidents, breaches, complaints, conflicts registers and more – supported by a workflow engine for approvals and reviews. Scales with your firm.
SMCR
Senior manager roles, responsibilities and certifications managed in one system. Evidence of the reasonable steps taken to ensure Conduct Rules compliance is structured, documented and accessible when needed
Regulatory change
Track FCA and other regulatory developments, assign actions and evidence your firm’s response in a structured, auditable way.
What This Means in Practice
When a regulator asks for evidence that your conduct framework is functioning, the answer is in the system. Named individuals have documented evidence of proper oversight. Your Board has visibility without a briefing document assembled from scratch.
Frequently Asked Questions
Capital markets firms manage a demanding set of conduct and compliance obligations – personal account dealing, conflicts of interest, gifts and hospitality, employee attestations, compliance monitoring and governance – often where individual accountability is under close regulatory scrutiny. My Compliance Centre brings these together in one integrated platform, so the evidence of proper oversight is captured as work happens rather than assembled before a regulatory visit.
Personal account dealing requests are submitted by employees and automatically approved, rejected or referred to the compliance team, with every request, approval and decline recorded and timestamped automatically. For firms with more complex requirements, the specialist PA Dealing module can be configured to your instrument types, holding periods and restricted lists, and a clever AI feature supports individual or bulk post-trade reconciliations, giving you a complete and unbroken audit trail.
Employee conduct in capital markets covers conflicts of interest, gifts and hospitality, personal account dealing and fit and proper attestations. Employees disclose, declare and request approvals directly through the platform; compliance reviews and approves or declines; and a consolidated, current record of conduct across the firm is maintained automatically – rather than reconstructed from email and spreadsheets when someone asks for it.
The platform brings together the records that demonstrate individual accountability is being managed – senior manager roles and responsibilities, certifications, governance participation and the evidence of reasonable steps. Because this is captured as work happens, you can demonstrate that your accountability framework is functioning without assembling evidence retrospectively before a regulatory visit.
Yes. Capital markets firms are among the more than 200 regulated firms and 10,000 financial services professionals using My Compliance Centre. The platform was built for the conduct, employee compliance and governance obligations these firms carry, particularly where individual accountability is under regulatory scrutiny.
Let us show you how My Compliance Centre can make a difference to your risk and compliance management
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